东方证券及相关人员被北交所出具警示函

Core Viewpoint - Dongfang Securities and related personnel received a warning letter from the Beijing Stock Exchange (BSE) for failing to exercise due diligence in their operations [2][3]. Group 1: Regulatory Actions - On September 26, 2025, Dongfang Securities and related personnel were issued a warning letter by the BSE due to a lack of diligence [3]. - Earlier in 2024, Dongfang Securities completed the merger with its investment banking subsidiary, Dongfang Securities Underwriting and Sponsorship Co., which resulted in the transfer of all existing clients and business operations to Dongfang Securities [4]. - In April 2024, Dongfang Securities and two project sponsors received written warnings from the Shenzhen Stock Exchange for failing to ensure timely disclosure of relevant merger information by the listed company Robotech [4][5]. Group 2: Compliance and Internal Measures - The Shenzhen Stock Exchange emphasized that Dongfang Securities should take corrective actions and submit a written report signed by key personnel within 20 trading days of receiving the regulatory letter [5]. - In June 2024, the China Securities Association published a classification list of sponsoring representatives, indicating that two representatives from Dongfang Securities were subjected to self-regulatory measures by the BSE [5]. Group 3: Market Context - The BSE has been implementing strict regulatory measures since its establishment, focusing on key individuals and events to promote the standardized operation of listed companies and enhance the stability of the multi-tiered capital market [6].